Securities Enforcement Empirical Database (SEED)

Defendant Name: Richard J. Evangelista

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Richard J. Evangelista

First Document Date 02-Apr-2010

Initial Filing Format Administrative Action

File Number 3-13842

Allegation Type Market Manipulation

Affiliations

Former: Head of the Stock Loan Department at Native Nations Securities, Inc. (October 1999—September 2001)

Violations Alleged

Exchange Act

• Sec 10(b) + Rule 10b-5

Securities Act

• Sec 17(a) (Not specified)

Resolutions

Bars:

Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)

First Resolution Date

Related Actions:

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Adnan M. Khashoggi

Douglas E. Jacobson

Richard J. Evangelista

Wayne Breedon

Ramy Y. El-Batrawi

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